gorton, nathaniel€¦ · i. person reporting (last name, rst, middle initial) 2. cout or...

POSITION NAME OF ORGANJZATION/ENTITY

PARTIES AND TERMS

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AOJO Rev. 112010

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

I. Person Reporting (last name, first, middle initial) 2. Court or Organization

Gorton, Nathaniel M. District Court - Massachusetts

4. Title (Article Ill judges indicate active or senior sllltus; SL Report Type (check appropriate type) magistrate judges indicate full- or part-time)

D Nomination, Date U.S. District Judge - Active D Initial [{] Annual

Sb. D Amended Report

D final

Report Required by rhe Ethics in Government Act of l 97 8 (5 U.S.C. app. §§ 101-1 I I)

3. Date of ReP<>rl

05/01/2010

6. Rejl<lrting Period

01/0112009

to

12/31/2009

7. Chambers or Office Address 8. On the basis «>f the information contained iu this Report and any mndlfications pertaini•g therein, It ls, in my opinion, in compliance

United States District Court "ith applicable laws aad reeulatlons.

I Courthouse Way, Suite 3110

Boston, MA 022!0 Reviewing Officer Date

IMPORT ANT NO TES: The instructions accompanying rhisform must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

J. POSITJ ONS. (Reporting individual only; see pp. 9-13 of filing lnstrucllons.)

D NONE (No reportable positions.)

I. See Attachment #I

2.

3.

4.

5.

II. AGREEMENTS. (Reporting indiviJua.l only; see pp. U-16 of filing instructions.)

[ZJ NONE (No reportable agreements.)

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2.

3.

Gorton, Nathaniel M.

SOURCE AND TYPE

--i custodiaD.;trustec

SOURCE AND TYPE

SOURCE DATES LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

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5.

Date of Report Name of Ptnoa Reporting FINANCIAL DISCLOSURE REPORT

05/01/2010Gorton, Nathaniel M. of8

III. N0N-JNVE STMENT JNCOl\1E. (Reporting indivUlual and spouse; supp. 17-2' of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

(yours, not spouse's)

I. June 30 Slade Gorton & Co., Inc., (closely held seafood business) $10,000.00 corporate clerk/secretary, director, and accounting duties

2.

3.

4.

B. Spouse's Non-Investment Income - If you weu married during a11y portion of the reporting year, compleu this section.

(Dollar amount no/ required txcept for honorario.)

[ZJ NONE (No reportable non-investment income.)

I.

2.

3.

4.

IV. REIMBURSEMENTS -transporl•tlon, lodxing,food, enlLrtainment

(Includes those lo spouse and dependent children; supp. 25-17 of filing insrructiom.)

D NONE (No reportable reimbursements.)

I. New York lntcllcctual Property Lawyers Association

reimbursement for lodg ng and travel by train from Boston to NYC to attend annual N.Y.l.P.L.A. dinner 3127/09 at Waldorf Astoria

2.

3.

4.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

Namt of Ptr1on Reporting Datt of Report FINANCIAL DISCLOSURE REPORT

of8 Gorton, Nathaniel M. 05/0112010

V. GIFTS. (Includes those to •pause and dependent cllildrm; ue pp. 26-31 offlling instructions.)

!ZJ NONE (No reportable gifts.)

I.

2.

3.

4.

5.

VI. LIABILITIES. (lndutles thou ofspoau and dependent children;"' pp. 31-33 of filing instr11ctions.j

[ZJ NONE (No reportable liabilities.)

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2.

3.

4.

5.

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FINANCIAL DISCLOSURE REPORT

of8

Name of Person Reporting


Dalt of Rep<!rt

05/0112010

VII. INVESTMENTS and TRUSTS -income, value, tronsactioru (Includes those of spouse and deperuknt childrtn; SU PP· U-60 of fiUng instrucfions.)

D NONE (No reportable income, assets, or transactions.)

A. B. c. D.

Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofrcporting period

(l) (2) (I) (2) {I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/ddlyy Code2 Code I buyer/seller

(A-H} or int.) (J·P} Code 3 redemption) (1-P) (A-H) (if private

(Q-W) transaction)

1. Slade Gorton & Co., [nc (a MA corporation) A N Q See Section Vlll (common stock)

2. Fidelity Cash Reserves (individual) A Dividend K T

3. Fidelity Money Market Accounts B Dividend M T (PO trustee){Att#l,"14)

4. Charitable Remainder Trust E div.,inl See Section VIII

5. Ceca Cola Co. Buy 02124/09 ]

6. Sysco Corp Sold 02124109 c

7. AT&T, Inc. Buy 04/23109 J

8. UnitedTechnologies Corp. Buy 08104109 J

9. Target Corp. Sold 08104109 J

10. CVS Corp. Sold 08104/09 J B

11. Boston Financial Management, [nc. IRA None Pl T

12. Wells Fargo & Co. New Sold 02125109 J

13. JPMorgan Chase & Co. Sold 02/25/09 J

14. Hewlett Packard Co. Buy 03102/09 K

15. Avon ProductJ Buy 03103109 K

16. Peabody Energy Corp. Sold 03/06109 ]

17. Financial Select Sector SPDR Buy 04/07109 J

1. Income Gain Coda: A -Sl.000 or less B •Sl.001 • $2.SOO c --$2,501. ss.ooo 0 =SS,001- SIS,000 E-SIS,001 °$50,000

(See Columns B t and 04) F •SS0,001- Sl00,000 G-$100,001 • Sl.Oll0,000 m -s1,ooo,001 - ss.000.000 H2 -More lhan SS,000,000 2. Value Coda l •Sll,000 or lest K -SU,001 • $50,000 L•SS0,001 • $100,000 M-S 100,001 - $250,000

(Sec Columns Cl and DJ) 11-$250,001 • ssoo.ooo 0 -SS00,001 • s l,000,000 Pl ..s1,ooo,001- ss,000.000 P2 --Sl,000,001 • $25,000,000

l'J -S2S,OOO,OO I • $50,000,000 P4 •Mor< than $50,000,000

J. Value Method Codes Q-Appraisal R -Qm (Real Estate Only) S ""'Assessment T -C.Sh Mmct (SecColumn C2) U •Book Value V-other W•Estimated

A.

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FINANCIAL DISCLOSURE REPORT

of8

Name of Person Reporting


Date of Report

05/0112010

VII. INVESTMENTS and TRUSTS - income, valut, tramactions (Includes those o[spouse and dependtnt childrm; SU pp. 34-60 of filing instruction<.)


Description of Assets (including trust assets)

Place "{X)" after each asset

exempt from prior disclosure

B. c. D.Income during Gross value at end Transactions during reporting period

reporting period of reporting period

(I)Amount Code I

(A-H)

(2)Type(c.g.,

div., rent,

or inL)

(I) (2)Value Value

Code2 Method

(J-P) Code3

(Q-W)

(I)Type (e.g.,

buy, sell,

redemption)

(2)Date

mm/dd/yy

(3) (4)Value Gain

Code2 Code I

(J-P) (A-H)

(5)Identity of

buyer/seller(if private

transaction)

18. SPDR Gold Trust Buy 04/21/09 J

19. Avalonbay Communities, Inc. Buy 05/04109 J

20. FPL Group, Inc. Buy 06/16/09 J

:21. Apple Computer Sold 07115/09 J D

22, Walgreen Company Sold 08111/09 K

23. American Express Co. Buy 08/11109 J

i 24. Avalonbay Communities, Inc. Buy(add'I)

08/11/09 J

25. Teva Pharmaceutical Industries, Ltd. Buy 08111109 K

! 26. Devon Energy Corp. Buy 08/11109 K

! 27. Caterpillar, Inc. Sold 08/20/09 J

28. Omnicom Group Sold 10/07/09 1

1 2

9. Apple Computer Sold

(part) 11/05/09 K D

30. American Express Co. Sold 12/16/09 J

31. Boston Financial Management, Inc, B IntJDiv. T See Section VIII revocable trust

32. Bank of America Corp. Sold 02/03/09 J

33. Coca Col.a Co. Buy 02/24/09 J

34. Sysco Corp. Sold 02/24/09 J B

l. lo.come Gain Coda: A•Sl,OOOorl<11 B-Sl,001-$2,500 C •$2,501 • S.S,000 D -SS,001 • $15,000 E-Sl5,01ll ·S50,000

(See Columns BI and D4) F •$50.001- $100.000 G =$100,001 • Sl,000,000 Ht =Sl,000,001 • $5,000,000 H2 •MO!< than $5,000,000 2. Value C<>da 1 •$15,000 or leu K =S 15.00 I - $50,000 L •S.S0,001 • S 100,000 M •SI00,001 • $250,000

(SccColwnns Cl and 03) N -S250,001 • $500,000 O -S500,00I • Sl,000,000 Pl -Sl,000.001. Sl,000,000 P2 -Sl,000,001 • $25,000,000 Pl •$25,000,001 • $50,000,000 P4 •More thon $50,000,000

3. Value Method Codes

(Sec Colu11UJ C2)

Q•AppraisolU •Book Value

R -<:ost (Real Estate Only)v -other

s-As smebt W•Eslimated

T ..Cash Marled

A.

r-----·. (I) (1) (4) (5)

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Name of Person Reporting Dart of Report FINANCIAL DISCLOSURE REPORT

of8 Gorton, Nathaniel M. 05/0112010

VII. INVESTMENTS and TRUSTS - income, S'tllue, transllctlons (Tnctudes those ofspouu and 4qien4ent chU4nn; SU pp. U-fiO offding instructions.)


Description of Assets

(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

B.

Income during reporting period

(I) Amount Code l

(A-H)

(2) T)-pe (e.g., div., rent,

orinL)

c.

Gross value at end of reporting period

Value

Code 2

(J-P)

(2) Value

Method

Code3

(Q-W)

T)pc (e.g., buy, sell,

redemption)

D.

Transactions during reporting period

(2) Date

mmldd/yy

(3) Value Gain Identity of

Code2 Code I buyer/seller

(J-P) (A-H) (if private transaction)

35. Caterpillar, Inc. Sold 03/05/09 J

36. American Express Co. Sold 03/05/09 1

37. Peabody Energy Corp. Sold 03/06/09 J

38. Omnicom Group Sold 05/18/09 J

39. Chubb Corp.

40. Boston Financial Management, Inc. revocable trust

A lntJDiv. L T

Buy 08/18/09 J

Sec Section VIII

41. Gilead Sciences Sold 03/06/09 J

42. Abbott Labs Buy 08/04/09 J

43. Teva Pharmaceutical Industries

44. Financial Select Sector SPDR

45. Bank of America A Interest J T

Buy (add'!)

Buy (add'()

08/04/09

08/18/09

J

J

I. !neome Gain Coda: A •S!,000 or k11 B-S!,OOl-$2,500 C•S2.501- $5,000 D -$5,00l - $15,000 I! •Sl5,00l - $50,000 (See Columns Bl arul 04) F-S50,00l-S!OO,OOO G •S!00,0-0! -Sl,000,000 Ill •Sl,000,001 - $5,000,000 112 •Mon: thao $5,000,000

2. Value Cod .. l •$15,000 or Im K=JIS,001-SSO.OOO L •$50,001-$100,000 M-SI00,001 -S2SO,OOO (Sec Columns Cl and 03) N •$250.001 • SS00,000 o -S500.001 - s1.ooo,ooo r1 ..s1.ooo,001 - S5.ooo,ooo P2 •$5,000,001 -$25,000,000

Pl •$25,000,00 I • $50,000,000 re •More th.an S50,ooo,ooo 3. Value Metbad Codes Q •Appraisal R .Cost (Reol Estate Ooly) S Assessment T-C.sh Market

(Sec Column Cl) U •Dook Value V-othcr W•E>timatcd

Date of Report Name of Penon ReportingFINANCIAL DISCLOSURE REPORT

of8 05/0112010Gorton, Nathaniel M.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicattparto/Report.)

Linc 1 -Owing 2009 Rocky Bay Trust, a Massachusetts Business Trust, of which the reporting party was a shareholder, and which had owned all of the stock of Slade Gorton & Co., Inc., a Massachusetts cotp. ("the Company") was dissolved and ownership of the Company reverted to its stockholders. The reporting party owns the same proportion of stock in the Company as he had owned shares of the Trust. Income of the reporting party reported in Section VII is anributable to his pro rata s hare of the income of the Company which is taxed as an S corporation whereby all corporate income is deemed passed through and taxable to the individual stockholders whether or not such income is, in fact, distributed. The value of the stock holdings is appraised biennially by a certified financial analyst.

Line 4 In 1997 the reporting party funded a charitable remainder trust of which they are the income beneficiaries for life but in which they retain no -

right to principal.

Lines 4, 11, 31 and 40 The assets listed on these lines (and the transactions noted in the lines that follow) are managed by Boston Financial Management, Inc.,-

Boston, MA and consist of stocks and bonds in publicly held companies and equity holdings based on indices listed in Attachment #2.

Name of renon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

of8 Gorton, Nathaniel M. 05/01/2010

IX. CERTIFICATION.

I certify that all information given above (Including information pertaining to my spouse and minor or dependent children, If any) Is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because It met applicable statutory pro\islons permitting non-disclosure.

I further certify that earned income from outside employment and honorarla and the acceptance of gifts which have been reported are In compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE mis REPORT MAY BE SUBJECT TO cmL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Colwnbus Circle, N.E. Washington, D.C. 20544

Organization/Entity

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Financial Disclosure Report

Nathaniel M. Gorton

May 1, 2010

Attachment #1

I. Positions

Position Name of

1. Stockholder, Clerk/Secretary Slade Gorton & Co., Inc.,

and Director MA (closely held

seafood business) a

MA corporation and successor

of Rocky Bay Trust, a MA

Business Trust, which formerly

owned all of the stock of the

Corporation

2 . Clerk and Director Cambridge Animal Aid, Inc.

Floral City, FL (non-profit

animal aid organization

by reporting party's

3 . Member of the Corporation The New England Home for

Little Wanderers, Boston, MA

(non-profit, private child

welfare agency)

NOTE: None of the beneficiaries of the following trusts and accounts of which the reporting party is a trustee (or holds a power of attorney) is a . of the reporting party and neither the reporting party nor . .. .. has any beneficial interest in or control over the disposition of assets of such trusts and accounts.

·

4. Power of Attorney/Trustee Fidelity money market accounts

(for all stockholders of Slade

Gorton & Co., Inc.,all of

Boston,

,. • H

managed

whom are

of r porting .

party)

I

5 . Trustee

6. Trustee

Irrevocable Trust (created in connection with the estate plan of the reporting party's

1989 Irrevocable Trust and Irrevocable Sub s Trust (both created in connection with the estate plan of reporting party's , .

Financial Disclosure Report Nathaniel M. Gorton

May I, 2010 Attachment #2

All of the listed holdings are of common stock unless otherwise noted.

Abbott Labs (stocks & bond) IBM Int'l Group (bond) Air Products & Chemicals, Inc. Johnson & Johnson American Express Co. Lowes Companies, Inc. Anadarko Pete Co. National Rural Utilities (bond) A T & T, Inc. New York Telephone Co. (bond) Automatic Data Processing, Inc. Nike, Inc. Avalonbay Communities, Inc. Novo-Nordisk AS ADR-B Avon Products, Inc. (bond) Pepsico, Inc. Chubb Corp. Pitney Bowes, Inc. (bond)

Cisco Corp. Powershares Global Water Portfolio Citrix Systems, Inc. Procter & Gamble Co. Coca Cola Co. RPM, Inc. (Ohio) Costco Wholesale Corp. Royce Fund Penn Mut Inv

CVS Corp. SBC Communications, Inc. (bond) Devon Energy Corp. Sigma Aldrich Corp. Dodge & Cox FDS Intl Stk Fund SPDR Gold Trust Eaton Vance Corp. Staples, Inc. Emerson Electric Co. Stryker Corp. Exelon Corp. Target Corp. Exxon-Mobile Corp. Teva Pharmaceutical Industries, Ltd. F P L Group, Inc. United Technologies Corp. Fedex Corp. Vodafone Group, Inc. Federal Home Loan Bank (bond) Wal green Company Federal Home Loan Mortgage Corp. (bond) WalMart Stores, Inc. (bond) Financial Select Sector SPDRJETF Western Union Co. Georgia Power Co. (bond) Google, Inc. Hewlett Packard Co. (bond)

Equity holdings based on indices: !Shares, Inc. Morgan-Stanley Capital Int'l (MSCI) Pacific Rim ex-Japan Index !Shares, Inc. MSCI Emerging Market Index !Shares, Inc. Russell 2000 Index !Shares Tr EAFE Index

gorton, nathaniel€¦ · i. person reporting (last name, rst, middle initial) 2. cout or...

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